Helen Smith is a registered investment advisor at Morgan Stanley, based in Charlotte, NC, with 23 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
4064 Colony Road, Suite 460, Charlotte, NC, 28211
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan StanleyBroker
August 2024 - Present · 1 yr 9 mos
Morgan Stanley
August 2024 - Present · 1 yr 9 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - March 2024 · 14 yrs 9 mos
Morgan Stanley
June 2009 - March 2024 · 14 yrs 9 mos
Citigroup Global Markets INC.
July 2005 - June 2009 · 3 yrs 11 mos
Citigroup Global Markets INC.Broker
July 2005 - June 2009 · 3 yrs 11 mos
Wachovia Securities, LLC
July 2003 - August 2003 · 1 mo
Wachovia Securities, LLCBroker
July 2003 - August 2003 · 1 mo
Prudential Securities Incorporated
November 2001 - July 2003 · 1 yr 8 mos
Prudential Securities IncorporatedBroker
October 2000 - July 2003 · 2 yrs 9 mos
Mony Securities CORP.Broker
November 1996 - November 1997 · 1 yr
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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Exams
No exam information available for this advisor.